IN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, C. S. 5, AS AMENDED AND THE SETTLEMENT AGREEMENT WITH ROBERT CASSELS
|
|
- Jonah Powell
- 5 years ago
- Views:
Transcription
1 IN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, C. S. 5, AS AMENDED AND THE SETTLEMENT AGREEMENT WITH ROBERT CASSELS REASONS FOR THE DECISION OF THE ONTARIO SECURITIES COMMISSION Hearing: Wednesday, November 17, 2004 Panel: Paul M. Moore, Q.C. - Vice-Chair (Chair of the Panel) Robert W. Davis - Commissioner David L. Knight - Commissioner Counsel: Kate Wooton - For Staff of the Ontario Securities Commission David Roebuck - For Robert Cassels Wendy Berman
2 2 The following statement has been prepared for purposes of publication in the Ontario Securities Commission Bulletin and is based on the transcript of the hearing, including oral reasons delivered at the hearing on the settlement agreement between staff of the Commission and Robert Cassels in the matter of Robert Cassels, Murray Hoult Pollitt and Pollitt & Co. Inc. The transcript has been edited, supplemented and approved by the chair of the panel for the purpose of providing a public record of the decision. This extract should be read together with the settlement agreement and the order signed by the panel. Vice-Chair Moore: [1] This is a hearing under section 127 of the Act for the Commission to consider whether it is in the public interest to approve a proposed settlement agreement between staff and the respondent, Robert Cassels, and to make an order approving the sanctions agreed to by staff and Cassels in relation to Cassels conduct. [2] We approve the settlement agreement as being in the public interest. [3] It's important to note that staff have chosen not to proceed against Cassels in respect of the insider trading allegations set out in the statement of allegations. [4] Staff advised that, looking at the relevant telephone call transcript reflecting the conduct in question and recognizing the possibility of different interpretations, it is staff's interpretation that there was no dishonesty intended, that the intention was to do what was right but that there was a lot of confusion and negligence in communicating instructions. [5] Counsel for Cassels pointed out that Cassels recognizes that as a registrant he should be held to a higher standard of competency in this question of communication than a member of the public and that he acknowledges that his conduct was not appropriate for a registrant. [6] Therefore, the settlement agreement before us today is not based on illegal insider trading, but on a violation of the spirit of section 2.1 of the Act. That section refers to the primary mandate of the Commission to maintain high standards of fitness and business conduct to ensure honest and responsible conduct by market participants. [7] Although no specific section of the Act is alleged as having been violated, staff and the respondent agree that the respondent, who was a registrant, failed to maintain high standards of fitness and business conduct, through negligence on his part. [8] We accept staff's interpretation of the telephone call transcript. [9] There are several statements in the transcript, such as questions as to whether what Mr. Cassels was suggesting would be all right or not, and also some suggestions that before any action be taken the registered representative to whom he was talking check back with him. That didn't happen. It was a case of the horse getting out of the barn before the doors were opened.
3 3 The Facts [10] Briefly, the facts were that Cassels is registered in Ontario as an investment counsel and portfolio manager with the firm of Cassels Investment Management Inc. He is an officer and director and is a majority shareholder of that company. He serves as chief compliance officer and ultimate responsible person. [11] On November the 11th, 2002 at approximately 3:08 p.m. Cassels received a voice mail from Pollitt & Co., a registered dealer, advising of a $100 million convertible debenture issue proposed as a bought deal financing for Agricore and indicated that if Cassels was interested in participating in the deal he should contact Pollitt & Co.. [12] At approximately 3:14 p.m. Cassels spoke again with Pollitt & Co. and was advised of the terms of the bought deal. At the time of these communications, Cassels Investment Management held just under 70,000 shares of Agricore on behalf of various clients. [13] At approximately 3:26 p.m., Cassels called his registered representative at another dealer and during the course of the telephone conversation between Cassels and the registered representative of the other dealer, Cassels explored the possibility of selling shares because he expected that the price of the stock could drop. An excerpt of the actual telephone call transcript is set out in the agreed statement of facts. [14] It is key to note that the end of the conversation between Mr. Cassels and the registered representative, the question was asked whether there was a lower limit of price. Cassels said he wasn't sure what the lower limit was. The registered representative said: Okay. Let me come back. And then Cassels said: And maybe we just have to go on the market, but maybe you could get a bid for it, I don't know. The registered representative said: Sure, I'll find out. And Cassels said: Okay, thanks. Will you call me on my cell? And the registered representative said: Perfect. [15] At approximately 3:30 p.m. a sell ticket was issued by the registered representative to sell 69,750 shares of Agricore on behalf of Cassels Investment Management. At approximately 3:32 p.m. 3,700 shares of Agricore were sold on the market at $6. The convertible price, by the way, under the debenture was above that. The market price at the time was $6, and subsequently the price went lower. [16] Immediately following this conversation, Cassels called Agricore at approximately 3:36 p.m. to ascertain whether the issue was public. He was unable to find anybody knowledgeable at Agricore. [17] Subsequent to the trade taking place, at approximately 3:34 p.m. the registered representative spoke with his superior at his dealer about his discussions with Cassels. Immediately following this conversation, at 3:38 p.m., the registered representative called Cassels and left a message advising that he did not think he could go ahead and sell the stock without further clarification in respect of the information known to Cassels. [18] Shortly after the registered representative left Cassels the message, Cassels contacted the
4 4 registered representative at 3:40 p.m. and advised that he agreed the stock should not be sold without further clarification. [19] At approximately 3:38 p.m. while the registered representative was leaving the message referred to above, trading in shares of Agricore was halted by The Toronto Stock Exchange. [20] After 4:00 p.m. Cassels learned that the registered representative had sold some stock, and that trading in the stock had been halted. [21] We accept as a fact that it was not Cassels' intention at the time to place an order to sell Agricore shares until he ascertained whether the bought deal was public and what the market conditions were. We accept the factual submissions of staff and Mr. Cassels that this was a question of negligent behaviour and not dishonesty on his part. Acceptability of Agreed Sanctions [22] Staff and Cassels have agreed to the following sanctions: 1) pursuant to clause 1 of subsection 127(1) of the Act, the registration granted to Cassels under the Act will be suspended for a period of 30 days effective from the date of the order of the Commission approving the settlement agreement; 2) pursuant to clause 127(2) of the Act, Cassels will be required to successfully complete the Canadian Securities Institute's Conduct and Practices Handbook Course within one year of the date of the order of the Commission approving the settlement agreement; 3) pursuant to clause 6 of subsection 127(1) of the Act, Cassels will be reprimanded by the Commission; 4) pursuant to section of the Act, Cassels agrees to make payment by certified cheque to the Commission in the amount of $6,000 in respect of a portion of the costs of the investigation and proceeding in relation to this matter; and, 5) Cassels has agreed to attend in person to receive the reprimand. [23] I'm not going to refer to the law in this matter other than to say we set out the relevant considerations in the hearing that approved a settlement agreement with Pollitt and Pollitt & Co. Inc., prior to this hearing. As we concluded in Pollitt, the mandate of the Commission is to act in the public interest on a preventative and protective basis looking to future conduct based on past conduct. It is not to punish or remediate. [24] The Commission has held that in determining sanctions, prior decisions should be viewed cautiously as each case must depend on its particular facts. I refer specifically to Re Belteco Holdings Inc. (1998), 21 O.S.C.B [25] It is not very instructive to look at other cases because of the uniqueness of the fact situation in this case. [26] We have a dual role as a Commission: to be fair and honest to investors as well as to registrants. [27] We accept the submission of counsel for Cassels that his reputation is a very important asset and has been harmed in this matter. There's no reason why it should be harmed further by inappropriate sanctions.
5 5 [28] One mitigating factor is that the conduct in question was not only an isolated event, but it happened in a brief span of time with the suggestion at the end of the telephone call that decisions discussed were not final. The registered representative would check back. The time frame is from 3:08 p.m. to approximately three quarters of an hour later. [29] Although Cassels' conduct was contrary to the public interest, it was not at the high end of the spectrum in terms of seriousness. [30] We have no reason to believe that such conduct will be undertaken again in the future or that somehow the conduct indicates unfitness to continue as a registrant. We do, however, think it is appropriate that Cassels take the course he has agreed to take. [31] We note that Cassels is remorseful for his conduct. He has approximately 14 years of experience in the industry. As we said, his reputation has already suffered. [32] Finally, I'd like to observe that one of the objectives of the securities regulation system is to deal speedily with aberrations of conduct among market participants. We note that this matter, partly through the cooperation of Cassels, has been brought on quickly. That is to be encouraged, and the fact that Cassels has been very cooperative right from the start is an indication to us that he is truly remorseful for what happened. [33] Taking all these facts into consideration, we are very comfortable in approving this settlement agreement as being in the public interest. Commissioner Knight, do you have a word or two you'd like to say? Commissioner Knight: [34] Thank you, Mr. Chairman, I do. Coming back to the one-year period that the draft order would allow for completion of this course, as I said earlier, I think one year is a long time, and my concern is not sufficient to not approve the order, but do I urge Mr. Cassels to get on with it and to complete that program as soon as is reasonably possible. Thank you. Vice-Chair Moore: [35] Mr. Cassels, would you please stand? Mr. Cassels, you've heard the proceedings today. You are remorseful. You have learned a lesson. We hereby reprimand you and trust that you will not conduct yourself in this way in the future. Approved by the chair of the panel on November 17th, Paul M. Moore Paul M. Moore, Vice-Chair
IN THE MATTER OF EXECUTION ACCESS, LLC SETTLEMENT AGREEMENT
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF EXECUTION
More informationIN THE MATTER OF KLAAS VANTOOREN. REASONS AND DECISION (Subsections 127(1) and 127(10) of the Securities Act, RSO 1990, c S.5)
Ontario Securities Commission Commission des valeurs mobilières de l Ontario 22nd Floor 20 Queen Street West Toronto ON M5H 3S8 22e étage 20, rue queen ouest Toronto ON M5H 3S8 Citation: Vantooren (Re),
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des 22 nd Floor 22e etage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND - IN THE MATTER OF AJIT SINGH BASI
Ontario Commission des 22 nd Floor 22e etage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIN THE SUPERIOR COURT OF THE STATE OF WASHINGTON IN AND FOR THE COUNTY OF SNOHOMISH. Petitioner, ) vs. ) Cause No Defendant.
IN THE SUPERIOR COURT OF THE STATE OF WASHINGTON IN AND FOR THE COUNTY OF SNOHOMISH MICHAEL RAETHER AND SAVANNA ) RAETHER, ) ) Petitioner, ) ) vs. ) Cause No. --0-0 DEUTSCHE BANK NATIONAL TRUST ) COMPANY;
More informationRe: JAMES DONALD WOOSTER. Leon Getz, Chair, Robert C. Blanchard and Daniel Siu. Barbara Lohmann for the Investment Dealers Association
IN THE MATTER OF A DISCIPLINE HEARING PURSUANT TO BY-LAW 20 OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA PACIFIC DISTRICT COUNCIL Re: JAMES DONALD WOOSTER Panel: Appearances: Leon Getz, Chair, Robert
More informationFitness to Practise. > Criminal convictions and fitness to practise
Fitness to Practise February 2012 Criminal convictions and fitness to practise ebulletin Being convicted of a criminal offence will bring osteopaths before the GOsC s fitness to practise panels. A small
More information3 IN THE GENERAL DISTRICT COURT OF PRINCE WILLIAM COUNTY
1 4-7-10 Page 1 2 V I R G I N I A 3 IN THE GENERAL DISTRICT COURT OF PRINCE WILLIAM COUNTY 4 5 * * * * * * * * * * * * * * 6 THIDA WIN, : 7 Plaintiff, : 8 versus, : GV09022748-00 9 NAVY FEDERAL CREDIT
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED. - and - IN THE MATTER OF ALKA SINGH AND MINE2CAPITAL INC. SETTLEMENT AGREEMENT
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationReasons: Decisons, Orders and Rulings
Chapter 3 Reasons: Decisons, Orders Rulings 3.1 Reasons 2.1.1 Judith Marcella Manning, Timothy Edward Manning, William Douglas Elik, Mary Martha Fritz Jill Christine Bolton COURT FILE NO: 784/95 787/95
More informationand REASONS FOR DECISION AND ORDER
Citation: New Brunswick (Financial and Consumer Services Commission) v. Stratus Financial Group International, 2015 NBFCST 2 PROVINCE OF NEW BRUNSWICK FINANCIAL AND CONSUMER SERVICES TRIBUNAL IN THE MATTER
More informationAmendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC s Appeal Panels and Response to Public Comment RULE 20
13.1.2 Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC s Appeal Panels and Response to Public Comment PART 1 DEFINITIONS 20.1 In this Rule: "Applicant" means: RULE 20 CORPORATION
More informationHEARING HEARD IN PUBLIC
HEARING HEARD IN PUBLIC CROOK, Stacey Registration No: 199655 PROFESSIONAL CONDUCT COMMITTEE AUGUST 2017 Outcome: Erased with Immediate Suspension This case was heard in parallel with the case of MOLLOY,
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND -
Ontario Commission des P.O. Box 55, 19 th Floor CP 55, 19e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN
More informationIN THE MATTER OF PART 3 OF THE LEGAL PROFESSION ACT, RSA 2000, c. L-8 AND
IN THE MATTER OF PART 3 OF THE LEGAL PROFESSION ACT, RSA 2000, c. L-8 AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF ALLAN GARBER A MEMBER OF THE LAW SOCIETY OF ALBERTA [Editor s note: additional
More informationIN THE MATTER OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA (ENFORCEMENT DIVISION) AND XAVIER CHENG KUO LI
IN THE MATTER OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA (ENFORCEMENT DIVISION) AND XAVIER CHENG KUO LI DECISION OF A HEARING PANEL OF THE PACIFIC DISTRICT COUNCIL OF THE INVESTMENT DEALERS ASSOCIATION
More informationCommodity Futures Legislation
Form 1-U-2000 Canadian Securities and Commodity Futures Legislation Uniform Application for Registration/Approval General Instructions 1. This form is to be used by every individual seeking registration
More informationIN THE MATTER OF The Securities Act S.N.B. 2004, c. S and - IN THE MATTER OF. STEVEN VINCENT WEERES and REBEKAH DONSZELMANN (RESPONDENTS)
IN THE MATTER OF The Securities Act S.N.B. 2004, c. S-5.5 - and - IN THE MATTER OF STEVEN VINCENT WEERES and REBEKAH DONSZELMANN (RESPONDENTS) REASONS FOR THE DECISION ON SANCTIONS Date of Hearing by Conference
More informationThe Florida Bar v. Bruce Edward Committe
The following is a real-time transcript taken as closed captioning during the oral argument proceedings, and as such, may contain errors. This service is provided solely for the purpose of assisting those
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND - IN THE MATTER OF PETER SBARAGLIA
Ontario Commission des P.O. Box 55, 19 th Floor CP 55, 19e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN
More informationHEARING HEARD IN PUBLIC BAPU, Raisha Registration No: PROFESSIONAL CONDUCT COMMITTEE MAY 2015 Outcome: Erasure and immediate suspension
HEARING HEARD IN PUBLIC BAPU, Raisha Registration No: 110944 PROFESSIONAL CONDUCT COMMITTEE MAY 2015 Outcome: Erasure and immediate suspension Raisha BAPU, a dental nurse, NVQ L3 Oral Health Care:Dental
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF CHIROPODISTS OF ONTARIO. Cesar Mendez,Chairperson Ed Chung Member Khalid Daud Public Member Riaz Bagha Member
1 DISCIPLINE COMMITTEE OF THE COLLEGE OF CHIROPODISTS OF ONTARIO PANEL: Cesar Mendez,Chairperson Ed Chung Member Khalid Daud Public Member Riaz Bagha Member BETWEEN: ) JORDAN GLICK for COLLEGE OF CHIROPODISTS
More informationRule 8200 Enforcement Proceedings Introduction Definitions PART A - GENERAL Hearings
Rule 8200 Enforcement Proceedings 8201. Introduction (1) This Rule sets out the authority of IIROC and hearing panels to hold hearings for enforcement purposes. (2) Enforcement proceedings are intended
More informationIN THE MATTER OF THE BY-LAWS OF THE INVESTMENT DEALERS IDA OF CANADA. Re: JORY CAPITAL INC., PATRICK MICHAEL COONEY AND REES MERTHYN JONES
IN THE MATTER OF THE BY-LAWS OF THE INVESTMENT DEALERS IDA OF CANADA Re: JORY CAPITAL INC., PATRICK MICHAEL COONEY AND REES MERTHYN JONES Heard: April 5 and 6; November 28, 2005 Decision: January 5, 2006
More informationIN THE MATTER OF DISCIPLINE PROCEEDINGS PURSUANT TO BY-LAW 20 OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA. Re: MICHAEL ROBERT DE LONG
IN THE MATTER OF DISCIPLINE PROCEEDINGS PURSUANT TO BY-LAW 20 OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA Re: MICHAEL ROBERT DE LONG Heard: March 9, 2005 Decision: March 22, 2005 Hearing Panel: Eric
More informationIN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, C. S.5, AS AMENDED -AND-
Schedule A IN THE MATTER OF THE SECURITIES ACT R.S.O. 1990, C. S.5, AS AMENDED -AND- IN THE MATTER OF PALADIN CAPITAL MARKETS INC., JOHN DAVID CULP AND CLAUDIO FERNANDO MAYA SETTLEMENT AGREEMENT (Claudio
More informationREASONS FOR DECISION. 3. The notice to solicitor referenced two citations, namely that:
IN THE MATTER OF THE LEGAL PROFESSION ACT AND IN THE MATTER OF A HEARING INQUIRING INTO THE CONDUCT OF JODIE HOLDER, A MEMBER OF THE LAW SOCIETY OF ALBERTA REASONS FOR DECISION 1. A Hearing Committee was
More informationRe Ahrens. The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada 2014 IIROC 46
Re Ahrens IN THE MATTER OF: The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada and Robert Justin Ahrens 2014 IIROC 46 Investment Industry Regulatory Organization of Canada
More informationHEARING PARTLY HEARD IN PRIVATE
HEARING PARTLY HEARD IN PRIVATE The Committee has made a determination in this case that includes some private information. That information has been omitted from the text. ROBERTSON, Harry Gordon Registration
More informationSETTLEMENT AGREEMENT
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationRe: JAMES MICHAEL BRENNAN
IN THE MATTER OF A DISCIPLINE HEARING PURSUANT TO BY-LAW 20 OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA Re: JAMES MICHAEL BRENNAN Heard: April 28, 2004. District Council: The Honourable John B. Webber,
More informationIN THE MATTER OF THE SECURITIES ACT, S.N.B. 2004, c. S-5.5 AND IN THE MATTER OF. COLBY COOPER INC. and JOHN DOUGLAS LEE MASON.
IN THE MATTER OF THE SECURITIES ACT, S.N.B. 2004, c. S-5.5 AND IN THE MATTER OF COLBY COOPER INC. and JOHN DOUGLAS LEE MASON (Respondents) DECISION AND ORDER PURUSANT TO SUBSECTION 184(1.1) BACKGROUND
More information1. Summary. 2. Methodology
THE REALITY OF SETTLEMENT IN REGULATORY ENFORCEMENT CASES Joel Wiesenfeld and Celesse Dove * 1. Summary The vast majority of concluded regulatory enforcement cases at the Ontario Securities Commission
More informationHEARING HEARD IN PUBLIC
HEARING HEARD IN PUBLIC BANNATYNE, Ashleigh Registration No: 214342 PROFESSIONAL CONDUCT COMMITTEE JUNE 2017 - JUNE 2018* Most recent outcome: Suspension extended for 12 months (with a review) *See page
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5 AS AMENDED AND IN THE MATTER OF JAIME ARLINDO VILAS-BOAS DIRECTOR S DECISION
IN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5 AS AMENDED AND IN THE MATTER OF JAIME ARLINDO VILAS-BOAS DIRECTOR S DECISION Background 1. From October 8, 1998 to December 14, 2000, Jaime Arlindo
More informationREASONS AND DECISION (Subsections 127(1) and (10) of the Act)
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationHEARING HEARD IN PUBLIC
HEARING HEARD IN PUBLIC MARQUEZ LOPEZ, Daniel Registration No: 260732 PROFESSIONAL CONDUCT COMMITTEE JULY 2018 OUTCOME: Fitness to Practise Impaired. Reprimand Issued Daniel MARQUEZ LOPEZ, a dentist, Grado
More informationYou are therefore liable to disciplinary action in accordance with Bye-law 5.2.2(d)
Disciplinary Panel Hearing Case of David Ager MRICS On Wednesday, 22 August 2018 Paper hearing By telephone Panel Dr Angela Brown (Lay Chair) Rosalyn Hayles (Lay Member) Christopher Pittman (Surveyor Member)
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF REGISTERED PSYCHOTHERAPISTS AND REGISTERED MENTAL HEALTH THERAPISTS OF ONTARIO
DISCIPLINE COMMITTEE OF THE COLLEGE OF REGISTERED PSYCHOTHERAPISTS AND REGISTERED MENTAL HEALTH THERAPISTS OF ONTARIO IN THE MATTER OF the Regulated Health Professions Act, 1991, S.O. 1991, c. 18, as amended,
More informationLAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT; AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF KEITH SHUSTOV,
LAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT; AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF KEITH SHUSTOV, A SUSPENDED MEMBER OF THE LAW SOCIETY OF ALBERTA Hearing Committee:
More informationGuidance for the Practice Committees including Indicative Sanctions Guidance
Guidance for the Practice Committees including Indicative Sanctions Guidance Effective 1 st October 2016 1 2 Contents 1 Introduction and background... 4 2 The Professional Conduct Committee (PCC)... 5
More information3.2 The Code to maintain patient safety and public confidence in the profession.
OUTCOME OF FITNESS TO PRACTISE HEARING Case Number 2013/01 Name Paul John Tallon Registration Number 3560 Date of Hearing 5 th 6 th and 14 th June 2013 The Notice of Allegation The Chairman of the Statutory
More informationHEARING PARTLY HEARD IN PRIVATE*
HEARING PARTLY HEARD IN PRIVATE* *The Committee has made a determination in this case that includes some private information. That information has been omitted from this text. GRAHAM, Lisa Marie Registration
More informationRe Rao. The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (IIROC)
Re Rao IN THE MATTER OF: The Dealer Member Rules of the Investment Industry Regulatory Organization of Canada (IIROC) and The By-Laws of the Investment Dealers Association of Canada (IDA) and Gregory Rao
More informationTHERE IS AN ORDER MADE PURSUANT TO S 240 LAWYERS AND CONVEYANCERS ACT 2006 FOR THE SUPPRESSION OF MEDICAL DETAILS.
THERE IS AN ORDER MADE PURSUANT TO S 240 LAWYERS AND CONVEYANCERS ACT 2006 FOR THE SUPPRESSION OF MEDICAL DETAILS. PLEASE SEE ORDER 5 ON PAGE 10 FOR FULL SUPPRESSION DETAILS. NEW ZEALAND LAWYERS AND CONVEYANCERS
More informationIN THE MATTER OF THE LEGAL PROFESSION ACT AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF RYAN MCCALL, A MEMBER OF THE LAW SOCIETY
IN THE MATTER OF THE LEGAL PROFESSION ACT AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF RYAN MCCALL, A MEMBER OF THE LAW SOCIETY Chair: Member: Member: Walter J. Pavlic, Q.C. Anthony Young, Q.C.
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED - AND - PRO-FINANCIAL ASSET MANAGEMENT INC., STUART MCKINNON and JOHN FARRELL
Ontario Commission des 22nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF THE SECURITIES
More informationIN THE MATTER OF THE SECURITIES ACT, R.S.O. 1990, c. S.5, AS AMENDED AND IN THE MATTER OF HACIK ISTANBUL
Ontario Commission des P.O. Box 55, 19 th Floor CP 55, 19e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN
More informationIN THE MATTER of the Certified Management Accountants Act, 2010, S.O. 2010, c.6, Sched. B;
IN THE MATTER of the Society of Industrial and Cost Accountants of Ontario Act, 1941, Statutes of Ontario 1941, c.77; as amended by Statutes of Ontario 1967, c.129; Statutes of Ontario 1971, c.126; Statutes
More informationRules Notice Request for Comment
Rules Notice Request for Comment Dealer Member Rules and UMIR Please distribute internally to: Legal and Compliance Operations Senior Management Comments Due By: May 23, 2018 Contact: Elsa Renzella Senior
More informationTHE REAL ESTATE COUNCIL OF ALBERTA. AB, for executive director of the Real Estate Council of Alberta Michael Eurchuk, in person
Case: 006466 THE REAL ESTATE COUNCIL OF ALBERTA Process: A Hearing under Part 3 of the Real Estate Act Industry Member: Michael Eurchuk Hearing Panel: Appearances: Bobbi Dawson (Chair Gordon Reekie David
More informationS16Y0838. IN THE MATTER OF GAYLE S. GRAZIANO. This disciplinary matter is before the Court on special master J. Raymond
In the Supreme Court of Georgia Decided: April 26, 2016 S16Y0838. IN THE MATTER OF GAYLE S. GRAZIANO. PER CURIAM. This disciplinary matter is before the Court on special master J. Raymond Bates, Jr. s
More informationDISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS
DISCIPLINARY COMMITTEE OF THE ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS REASONS FOR DECISION In the matter of: Miss Emma Hoy Heard on: Monday, 15 May 2017 Location: The Chartered Institute of Arbitrators,
More informationALLEGATIONS OF PROFESSIONAL MISCONDUCT
ALLEGATIONS OF PROFESSIONAL MISCONDUCT CANADA ) IN THE MATTER OF the Surveyors Act ) R.S.O. 1990, Chapter S.29 ) PROVINCE OF ) AND IN THE MATTER OF John G. Boyd, O.L.S. ) ) ONTARIO ) AND IN THE MATTER
More informationBuilding Materials Evaluation Commission Guidelines, Policies, and Procedures Handbook
Building Materials Evaluation Commission Guidelines, Policies, and Procedures Handbook A. Mandate of the Building Materials Evaluation Commission 1. The Building Materials Evaluation Commission ( BMEC
More informationTHE PRINCIPLES STEWARDSHIP FRAMEWORK FOR INSTITUTIONAL INVESTORS :
Stewardship Principles Investor Stewardship Group https://www.isgframework.org/stewardship-principles/ Page 1 of 5 5/2/2017 THE PRINCIPLES STEWARDSHIP FRAMEWORK FOR INSTITUTIONAL INVESTORS : Principle
More informationLAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT; AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF R.
LAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT; AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF R. FRANK LLEWELLYN, A MEMBER OF THE LAW SOCIETY OF ALBERTA Hearing Committee: Gillian
More informationCase 2:12-cv WCO Document 16-3 Filed 04/06/13 Page 1 of 25. Exhibit C
Case 2:12-cv-00262-WCO Document 16-3 Filed 04/06/13 Page 1 of 25 Exhibit C Case 2:12-cv-00262-WCO Document 16-3 Filed 04/06/13 Page 2 of 25 UNITED STATES DISTRICT COURT MIDDLE DISTRICT OF FLORIDA TAMPA
More informationHAHN & BOWERSOCK FAX KALMUS DRIVE, SUITE L1 COSTA MESA, CA 92626
SUPERIOR COURT OF THE STATE OF CALIFORNIA COUNTY OF LOS ANGELES DEPT 24 HON. ROBERT L. HESS, JUDGE BAT WORLD SANCTUARY, ET AL, PLAINTIFF, VS MARY CUMMINS, DEFENDANT. CASE NO.: BS140207 REPORTER'S TRANSCRIPT
More informationONTARIO REGULATION 544/94 GENERAL PROPOSED AMENDMENTS TO QUALITY ASSURANCE REGULATION AND RATIONALE CHART (February 2017)
ONTARIO REGULATION 544/94 GENERAL PROPOSED AMENDMENTS TO QUALITY ASSURANCE REGULATION AND RATIONALE CHART (February 2017) CURRENT REGULATION PROPOSED AMENDMENTS RATIONALE / COMMENTS GENERAL 28. In this
More informationUNITED STATES BANKRUPTCY COURT WESTERN DISTRICT OF PENNSYLVANIA
UNITED STATES BANKRUPTCY COURT WESTERN DISTRICT OF PENNSYLVANIA IN RE:. Case No. 0-.. SHARON DIANE HILL,.. USX Tower - th Floor. 00 Grant Street. Pittsburgh, PA Debtor,.. December 0, 00................
More informationSTATE OF WISCONSIN CIRCUIT COURT DANE COUNTY Branch 9
STATE OF WISCONSIN CIRCUIT COURT DANE COUNTY Branch FILED 0-0-1 CIRCUIT COURT DANE COUNTY, WI 1CV000 AMY LYNN PHOTOGRAPHY STUDIO, LLC, et al., Plaintiffs, vs. Case No. 1 CV CITY OF MADISON, et al., Defendants.
More informationIN THE MATTER OF ELECTROVAYA INC. AND SANKAR DAS GUPTA. ORDER (Subsection 127(1) of the Securities Act, RSO 1990, c S.5)
Ontario Commission des 22 nd Floor 22e étage Securities valeurs mobilières 20 Queen Street West 20, rue queen ouest Commission de l Ontario Toronto ON M5H 3S8 Toronto ON M5H 3S8 IN THE MATTER OF ELECTROVAYA
More informationHEARING HEARD IN PUBLIC
HEARING HEARD IN PUBLIC AYOR-AYO, Auma Hilda Registration No: 198660 PROFESSIONAL CONDUCT COMMITTEE AUGUST 2017 Outcome: Suspended for 12 months with immediate suspension (with a review) Auma Hilda AYOR-AYO,
More informationLOUISIANA ATTORNEY DISCIPLINARY BOARD IN RE: KEISHA M. JONES-JOSEPH NUMBER: 14-DB-035 RECOMMENDATION TO THE LOUISIANA SUPREME COURT INTRODUCTION
LOUISIANA ATTORNEY DISCIPLINARY BOARD 14-DB-035 8/14/2015 IN RE: KEISHA M. JONES-JOSEPH NUMBER: 14-DB-035 RECOMMENDATION TO THE LOUISIANA SUPREME COURT INTRODUCTION This is an attorney discipline matter
More informationQ1) Do you agree or disagree with the Council s approach to the distinction between a principle and a purpose of sentencing?
Name Scottish Hazards Publication consent Publish response with name Q1) Do you agree or disagree with the Council s approach to the distinction between a principle and a purpose of sentencing? Agree We
More informationIN THE MATTER OF THE SECURITIES ACT S.N.B and - IN THE MATTER OF
IN THE MATTER OF THE SECURITIES ACT S.N.B. 2004 - and - IN THE MATTER OF INTERCONTINENTAL TRADING GROUP S.A., RON WALLACE AND GARY MCCORY (RESPONDENTS) Date of Hearing: November 18, 2009 Date of Order:
More informationThe Law Society of Saskatchewan
Hearing Committee Bryan Salte, Q.C., Chair Lee Anne Schienbein Eric Neufeld, Q.C. The Law Society of Saskatchewan SCOTT DAVID WOLFE HEARING DATE: July 29, 2015 DECISION DATE: August 26, 2015 Law Society
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF CHIROPODISTS OF ONTARIO
DISCIPLINE COMMITTEE OF THE BETWEEN: ( College ) -and- JAMES WILLIAM HILL ( Mr. Hill ) Panel Members: Ray Ferraro Chair, Public Member Meera Narenthiran Professional Member Sarah Kerwin Professional Member
More informationPractice Guideline April 24, Use and Disclosure of Personal Information in Ontario Securities Commission s Adjudicative Proceedings
Practice Guideline April 24, 2012 Use and Disclosure of Personal Information in Ontario Securities Commission s Adjudicative Proceedings (Cross-references: Freedom of Information and Protection of Privacy
More informationRe Sole. The Rules of the Investment Industry Regulatory Organization of Canada 2018 IIROC 19
Re Sole IN THE MATTER OF: The Rules of the Investment Industry Regulatory Organization of Canada and Robert Edward Sole 2018 IIROC 19 Investment Industry Regulatory Organization of Canada Hearing Panel
More informationLAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT; AND
LAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT; AND IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF ARNOLD PIRAGOFF, QC A MEMBER OF THE LAW SOCIETY OF ALBERTA Single Bencher Hearing
More informationTHE LAW SOCIETY OF ALBERTA HEARING COMMITTEE REPORT
INTRODUCTION THE LAW SOCIETY OF ALBERTA HEARING COMMITTEE REPORT IN THE MATTER OF THE Legal Profession Act, and in the matter of a Hearing regarding the conduct of GENEVIEVE MAGNAN, a Member of the Law
More informationFORM F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS (section 2.2)
FORM 33-109F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS (section 2.2) GENERAL INSTRUCTIONS Complete and submit this form to the relevant regulator(s) or in Québec, the securities
More informationIN THE MATTER of the Certified Management Accountants Act, 2010, Statutes of Ontario 2010, C.6, Schedule B;
IN THE MATTER of the Certified Management Accountants Act, 2010, Statutes of Ontario 2010, C.6, Schedule B; AND IN THE MATTER of the Statutory Powers Procedure Act, Revised Statutes of Ontario 1990, c.s.22,
More informationAFL Anti-Doping TRIBUNAL TUESDAY, 31 MARCH 2015 DAY SEVENTEEN (TRANSCRIPT-IN-CONFIDENCE) MR JOHN NIXON MR WAYNE HENWOOD
AFL Anti-Doping TRIBUNAL TUESDAY, MARCH DAY SEVENTEEN (TRANSCRIPT-IN-CONFIDENCE) MR DAVID JONES MR JOHN NIXON MR WAYNE HENWOOD COUNSEL ASSISTING: MR JUSTIN HOOPER - - - - - MR J. GLEESON QC with MS R.
More informationB e f o r e: LORD JUSTICE DAVIS MR JUSTICE CRANSTON. Between:
IN THE HIGH COURT OF JUSTICE QUEEN'S BENCH DIVISION DIVISIONAL COURT CO/3452/2007 Royal Courts of Justice Strand London WC2A 2LL Thursday, 31 July 2014 B e f o r e: LORD JUSTICE DAVIS MR JUSTICE CRANSTON
More informationHEARING HEARD IN PUBLIC
HEARING HEARD IN PUBLIC LIMBU, Dino Registration No: 246153 PROFESSIONAL CONDUCT COMMITTEE AUGUST 2015 Outcome: Fitness to practise impaired; erasure with an immediate suspension order Dinu LIMBU, a dental
More informationIN THE MATTER of the Certified Management Accountants Act, 2010, S.O. 2010, c.6, Sched. B;
IN THE MATTER of the Society of Industrial and Cost Accountants of Ontario Act, 1941, Statutes of Ontario 1941, c.77; as amended by Statutes of Ontario 1967, c.129; Statutes of Ontario 1971, c.126; Statutes
More informationTHE LAW SOCIETY OF ALBERTA. IN THE MATTER OF THE LEGAL PROFESSION ACT, RSA 2000, c L-8, - and -
THE LAW SOCIETY OF ALBERTA IN THE MATTER OF THE LEGAL PROFESSION ACT, RSA 2000, c L-8, - and - IN THE MATTER OF A HEARING REGARDING THE CONDUCT OF RICHARD GLENN, A MEMBER OF THE LAW SOCIETY OF ALBERTA
More informationFORM 3 Audit Oversight Board
FORM 3 Audit Oversight Board Application for recognition of a foreign individual auditor under section 31O of the Securities Commission Malaysia Act 1993 1 If there is insufficient space for any section
More informationIn accordance with Rule 41 of the General Medical Council (Fitness to Practise) Rules 2004 the hearing was held in public.
PUBLIC RECORD Dates: 27/11/2018-29/11/2018 Medical Practitioner s name: Dr Stamatios OIKONOMOU GMC reference number: 6072884 Primary medical qualification: Type of case New - Misconduct Ptychio Iatrikes
More informationSANCTION GUIDANCE DOCUMENT
SANCTION GUIDANCE DOCUMENT November 2017 Introduction If a complaint is referred to the Disciplinary Committee of the Teaching Council for an inquiry, a panel of the Disciplinary Committee consisting of
More informationIN THE MATTER of the Certified Management Accountants Act, 2010, S.O. 2010, c.6, Sched. B;
IN THE MATTER of the Society of Industrial and Cost Accountants of Ontario Act, 1941, Statutes of Ontario 1941, c.77; as amended by Statutes of Ontario 1967, c.129; Statutes of Ontario 1971, c.126; Statutes
More informationThe Northeast Ohio Coalition for the Homeless, et al. v. Brunner, Jennifer, etc.
1 IN THE UNITED STATES DISTRICT COURT 2 FOR THE SOUTHERN DISTRICT OF OHIO 3 THE NORTHEAST OHIO ) 4 COALITION FOR THE ) HOMELESS, ET AL., ) 5 ) Plaintiffs, ) 6 ) vs. ) Case No. C2-06-896 7 ) JENNIFER BRUNNER,
More informationCODE OF CONDUCT FOR MEMBERS OF COUNCIL
Purpose: CODE OF CONDUCT FOR MEMBERS OF COUNCIL A written Code of Conduct helps to ensure that the members of Council share a common basis for acceptable conduct. The Code of Conduct is not intended to
More informationPeople v. Alster. 07PDJ056. March 12, Attorney Regulation. Following a Sanctions Hearing, the Presiding Disciplinary Judge suspended Respondent
People v. Alster. 07PDJ056. March 12, 2009. Attorney Regulation. Following a Sanctions Hearing, the Presiding Disciplinary Judge suspended Respondent Christopher Alster (Attorney Registration No. 11884)
More informationFair Play Policy and Procedures
1 Fair Play Policy and Procedures Issued: February 1998 1 st Revision: September 1998 2 nd Revision: November 1999 3 rd Revision: August 2006 Approved by the Board of Directors Basketball Ontario August
More informationIN THE MATTER of the Certified Management Accountants Act, 2010, Statutes of Ontario 2010, C.6, Schedule B;
IN THE MATTER of the Certified Management Accountants Act, 2010, Statutes of Ontario 2010, C.6, Schedule B; AND IN THE MATTER of the Statutory Powers Procedure Act, Revised Statutes of Ontario 1990, c.s.22,
More informationCODE OF PROFESSIONAL CONDUCT & DISCIPLINARY PROCEDURES
CODE OF PROFESSIONAL CONDUCT & DISCIPLINARY PROCEDURES SMSF Association 9 September 2016 Version 1.2 dated 09 September 2016 Overview The SMSF Association is a self-regulating professional association
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF NURSES OF ONTARIO
DISCIPLINE COMMITTEE OF THE COLLEGE OF NURSES OF ONTARIO This decision was followed by an appeal, the results of which can be found at the end of this document. PANEL: Sarah Corkey, RN Chairperson Susan
More information13 A P P E A R A N C E S :
FILED: NEW YORK COUNTY CLERK 0/0/ :0 AM INDEX NO. / SUPREME COURT OF THE STATE OF NEW YORK NEW YORK COUNTY : CIVIL TERM : PART --------------------------------------------x ACCESS INDUSTRIES I INC. l -
More informationTechnical Standards and Safety Authority. Rules of Practice
Technical Standards and Safety Authority Rules of Practice APPEALS FILED UNDER SUBSECTION 22.(1) OF THE TECHNICAL STANDARDS & SAFETY ACT, 2000, S.O. 2000, CHAPTER 16 April, 2008 TABLE OF CONTENT TSSA Rules
More informationIN THE MATTER OF THE POLICE SERVICES ACT R.S.O. 1990, C.P. 15, as amended: THE TORONTO POLICE SERVICE. - and -
IN THE MATTER OF THE POLICE SERVICES ACT R.S.O. 1990, C.P. 15, as amended: B E T W E E N: THE TORONTO POLICE SERVICE Police Service - and - POLICE CONSTABLE CHRISTOPHER McFADYEN (#10506) Subject Officer
More informationHEARING HEARD IN PUBLIC
HEARING HEARD IN PUBLIC JAMALI, Nisreen Registration No: 86173 PROFESSIONAL CONDUCT COMMITTEE September 2014 Outcome: Erased with immediate suspension. Nisreen JAMALI, BDS Karachi 2002, Statutory Exam
More informationS14Y0692. IN THE MATTER OF LAXAVIER P. REDDICK-HOOD. This disciplinary matter is before the Court on the Report and
In the Supreme Court of Georgia Decided: October 6, 2014 S14Y0692. IN THE MATTER OF LAXAVIER P. REDDICK-HOOD. PER CURIAM. This disciplinary matter is before the Court on the Report and Recommendation of
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF PHYSICIANS AND SURGEONS OF ONTARIO COLLEGE OF PHYSICIANS AND SURGEONS OF ONTARIO. - and -
B E T W E E N: DISCIPLINE COMMITTEE OF THE COLLEGE OF PHYSICIANS AND SURGEONS OF ONTARIO COLLEGE OF PHYSICIANS AND SURGEONS OF ONTARIO - and - KOMA DIRYAWISH ISRAEL NOTICE OF HEARING THE INQUIRIES, COMPLAINTS
More informationAPPLICATION FOR RESTORATION TO THE ROLL
No. 9731-2007 IN THE MATTER OF IAN MILNE, former solicitor - AND - IN THE MATTER OF THE SOLICITORS ACT 1974 Mr. W. M. Hartley (in the chair) Mr. R. B. Bamford Mrs. N. Chavda Date of Hearing: 8th November
More information